Todd D. Gillespie

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CRD#: 2165494

Professional summary

Todd David Gillespie was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Todd is a previously registered financial advisor and started their career in finance in 1991. Prior to being barred, Todd had worked at 9 firms, which includes MERIDIAN UNITED CAPITAL LLC, CAPITAL ACCESS LTD., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, BANC OF AMERICA INVESTMENT SERVICES INC., PROTRADER SECURITIES L.P., SOUTHCOAST INVESTMENT GROUP INC., JACKSON KOHLE & CO., ALLSTATE FINANCIAL SERVICES LLC, MARKETING ONE SECURITIES INC..

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

April 29, 2008 - September 9, 2008

MERIDIAN UNITED CAPITAL, LLC

CRD#: 122924

SCOTTSDALE, AZ

Past

February 4, 2005 - May 10, 2007

CAPITAL ACCESS, LTD.

CRD#: 24898

SEATTLE, WA

Past

January 2, 2004 - September 1, 2004

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

LAGUNA HILLS, CA

Past

August 11, 2003 - September 1, 2004

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

November 21, 2002 - July 29, 2003

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

NEWPORT BEACH, CA

Past

August 9, 2002 - July 29, 2003

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

BOSTON, MA

Past

January 27, 1998 - May 22, 2000

PROTRADER SECURITIES L.P.

CRD#: 35233

AUSTIN, TX

Past

August 22, 1997 - April 1, 2002

SOUTHCOAST INVESTMENT GROUP, INC.

CRD#: 43506

HOUSTON, TX

Past

August 27, 1996 - August 29, 1997

JACKSON KOHLE & CO.

CRD#: 17788

SAN CLEMENTE, CA

Past

January 31, 1996 - August 16, 1996

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

LINCOLN, NE

Past

February 2, 1993 - January 31, 1996

MARKETING ONE SECURITIES, INC.

CRD#: 16611

PORTLAND, OR

Past

August 9, 1991 - December 18, 1992

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/30/2002

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/16/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/6/1991

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/5/1997

General Securities Principal Examination

Current Firm

MERIDIAN UNITED CAPITAL, LLC

MERIDIAN UNITED CAPITAL, LLC | RUSSELL KING FINANCIAL, LLC | RK FINANCIAL, LLC

CRD#: 122924 / SEC#: , 8-65544

Terminated by SEC on 12/15/2012

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Contact information

Main Address

Mailing Address

Phone number

Established

Minnesota since 05/23/1997

Firm type

Limited Liability Company

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
JOHNSON, REID STUART	PRESIDENT, CCO, AMLCO, LLC GOVERNOR	1043574
KIERNAN, WILMA URIBE	FINOP	5522174

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Todd D. Gillespie

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CAPITAL ACCESS, LTD.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

PROTRADER SECURITIES L.P.

SOUTHCOAST INVESTMENT GROUP, INC.

JACKSON KOHLE & CO.

ALLSTATE FINANCIAL SERVICES, LLC

MARKETING ONE SECURITIES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 12/30/2002

Series 63

Date: 8/16/1991

Series 7

Date: 8/6/1991

Series 24

Date: 8/5/1997

Current Firm

MERIDIAN UNITED CAPITAL, LLC

Contact information

Documents

Direct owners and executive officers

Red Flags

Company Information

MERIDIAN UNITED CAPITAL, LLC

TRUST BUT VERIFY

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